Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Cowen Execution Services. If you suffered losses investing with Cowen Execution Services, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Cowen Execution Services (CRD# 35693) (SEC# 801-67167, 8-46838)
As of April 4, 2020, Cowen Execution Services’s FINRA BrokerCheck Report contains the following:
29 Regulatory Event Disclosures
Main Office Location
599 LEXINGTON AVENUE
21 FLOOR
NEW YORK, NY 10022
UNITED STATES
Mailing Address
599 LEXINGTON AVENUE
21 FLOOR
NEW YORK, NY 10022
UNITED STATES
Business Telephone Number
646-562-1010
Direct Owners and Executive Officers
COWEN EXECUTION HOLDCO, MEMBER
CHARNEY, DANIEL S. (CRD#:2158255), CHIEF EXECUTIVE OFFICER
EADS, MARK B (CRD#:2942874), REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL – ROSFP
HOLMES, JOHN (CRD#:1281617), PRINCIPAL OPERATIONS OFFICER
KAPLAN, GARY MITCHELL, MUNICIPAL PRINCIPAL
LUPKIN, IRA ADAM (CRD#:4463446), PRINCIPAL FINANCIAL OFFICER
MESSINGER, LINDA LOUISE (CRD#:2561401), CHIEF COMPLIANCE OFFICER
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Cowen Execution Services and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
